3 DOL Fiduciary Compliance Challenges Advisors Face
An Aite Group survey of advisors asks how difficult they think various tasks will be under the fiduciary rule.
SEC Charges Immigration Attorney With Defrauding EB-5 Investors: Enforcement
In other actions, a court orders insider trading defendant Believe Lin to pay nearly $7.3 million after finding him in contempt.
3 Reasons Why Advisors Must Address Political Anxiety With Clients
A Hartford Funds survey finds that most advisors agree client anxiety led to poor investment decisions last year.
Industry Needs to ‘Modernize’ to Accept Smaller Investors: Schwab
Wealth is more than "a specific sum of money" to many Americans, and the industry needs to adapt to accept this, Schwab execs say.
Advisors’ Use of Digital Technology Needs Overhaul: Global Wealth Report
Digital initiatives have largely centered on providing customers with basic portfolio functionalities, but more is needed.
BNY Mellon’s Pershing Launches No-Fee ETF Platform: Portfolio Products
In other product news, Envestnet | Yodlee launched a personal financial wellness solution.
Las Vegas Firm Busted in Phony LGBT Resort Scam: Enforcement
In other enforcement news, Nationwide, Pershing and FSC Securities all receive FINRA fines.
6 Favorable Changes to HSAs Under GOP Health Bill: HSA Bank Report
Since the new Congress began in January, 20 bills have been proposed that impact consumer-directed healthcare and HSAs.
Will AdvisorBid Become the ‘Facebook’ of Wealth Management?
The online marketplace has 1,300 active advisors with profiles.
Redtail Ditches 'One-Star' App for New Mobile Experience
For many years, Redtail Technology focused on having a responsive website rather than focusing on its mobile app, and as a result the app suffered.